[Federal Register Volume 66, Number 183 (Thursday, September 20, 2001)]
[Rules and Regulations]
[Pages 48357-48361]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-23356]
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GENERAL SERVICES ADMINISTRATION
41 CFR Parts 101-11, 102-193, 102-194, and 102-195
[FPMR Amendment B-1]
RIN 3090-AG02
Federal Records Management Program, Interagency Reports
Management Program, and Standard and Optional Forms Management Program
AGENCY: Office of Governmentwide Policy, GSA.
ACTION: Final rule.
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SUMMARY: The General Services Administration (GSA) is revising the
Federal Property Management Regulations (FPMR) by moving coverage on
creation, maintenance, and use of records into the Federal Management
Regulation (FMR). A cross-reference is added to the FPMR to direct
readers to the coverage in the FMR. The FMR coverage is written in
plain language to provide agencies with updated regulatory material
that is easy to read and understand.
DATES: Effective October 22, 2001.
FOR FURTHER INFORMATION CONTACT: R. Stewart Randall, Strategic IT
Issues Division (MKB), at 202-501-4469, or Internet e-mail at
[email protected].
SUPPLEMENTARY INFORMATION:
A. Background
This final rule encourages Federal agencies to conduct business
electronically. Part 102-193, Creation, Maintenance, and Use of
Records, is being added to the FMR to provide a foundation for General
Services Administration (GSA) programs that helps address problems in
the management of contemporary records. Both GSA and the National
Archives and Records Administration (NARA) have responsibilities for
records management. This final rule references appropriate NARA
regulations.
This final rule also makes changes in the operation of the Standard
and Optional Forms Program. The Federal Government is moving toward
greater use of information technology to allow improved customer
service and Governmental efficiency. The Government Paperwork
Elimination Act requires agencies to adopt electronic transactions of
information by October, 2003, when practicable. This vision
contemplates widespread use of the Internet, with Federal agencies
transacting business electronically as commercial enterprises are
doing. Members of the public who want to do business this way can avoid
traveling to Government offices, waiting in line, or mailing paper
forms. The Federal Government can also save significant time and money
by transacting business electronically.
Therefore, this rule is intended to facilitate the movement of the
Federal Government toward greater automation of the information
exchanged using standard and optional forms. This rule also addresses
management of standard and optional forms (in either paper or
electronic form) and defines standard and optional automated formats.
Normally, the most efficient exchange of information is done using
automated formats. Thus, this rule encourages agencies, where
appropriate, to use automated formats.
Often, an important intermediate step in the Federal Government's
evolution to transacting business electronically is the development and
use of electronic standard and optional forms. Such forms, while not
fully electronic business transactions, can make paper-based
information exchanges substantially easier and introduce significant
efficiencies for the Federal Government. The part on standard and
optional forms encourages the use of electronic forms by Federal
agencies to facilitate paper-based transactions, pending their
automation. To do that, this rule establishes the policy that agencies
should promote the use of electronic standard forms whenever
practicable. To assist agencies in assessing practicability, GSA is
proposing that paper transactions continue when standard forms are for
specialized use (e.g., labels), when there are special security or
integrity concerns (e.g., classification cover sheets), and when there
are unusual production costs (e.g., special envelopes). The Standard
and Optional Forms Procedural Handbook includes a list of those forms
that have been exempted from the policy in accordance with these
criteria.
This rule also makes changes to the Interagency Reports Management
Program to shorten the time between when an agency determines a need
for interagency information and when the agency can initiate an
interagency report to obtain that information. Agencies will no longer
have to get GSA's approval
[[Page 48358]]
before initiating an interagency report. This change lets agencies take
advantage of information technology to get the information they need to
accomplish their missions.
When authorized by law and regulation, agencies are encouraged to
share information, particularly as an alternative to collecting
additional information from the public. This change is intended to
facilitate agencies sharing needed information.
As a general rule, it is more efficient for agencies to share
information in electronic form. While paper-based reporting, including
electronic forms, may still be used, it is preferable that interagency
reports be provided electronically between agencies. Agencies, however,
are asked to give GSA information such as the name and the cost of each
of their interagency reporting requirements. This information will be
placed on our web site at www.gsa.gov and made available to Federal
agencies.
A proposed rule was published on August 9, 2000, at 65 FR 48655.
Three comments were received and considered in the formation of this
final rule.
B. Executive Order 12866
GSA has determined that this final rule is not a significant
regulatory action for the purposes of Executive Order 12866 of
September 30, 1993.
C. Regulatory Flexibility Act
This final rule will not have a significant economic impact on a
substantial number of small entities within the meaning of Regulatory
Flexibility Act, 5 U.S.C. 601, et seq., because the rule only applies
to internal management and will not have a significant impact on the
public.
D. Paperwork Reduction Act
The Paperwork Reduction Act does not apply because this final rule
does not impose recordkeeping or information collection requirements,
or the collection of information from offerors, contractors, or members
of the public which require the approval of the Office of Management
and Budget (OMB) under 44 U.S.C. 3501, et seq.
E. Small Business Regulatory Enforcement Fairness Act
This final rule is exempt from congressional review prescribed
under 5 U.S.C. 801 since it relates solely to agency management and
personnel.
List of Subjects in 41 CFR Parts 101-11, 102-193, 102-194, and 102-
195
Archives and records, Computer technology, Government property
management.
For the reasons set forth in the preamble, 41 CFR chapters 101 and
102 are amended as follows:
CHAPTER 101--[AMENDED]
1. Subchapter B consisting of part 101-11 is added to read as
follows:
Subchapter B--Management and Use of Information and Records
PART 101-11--FEDERAL RECORDS, INTERAGENCY REPORTS, AND STANDARD AND
OPTIONAL FORMS
Authority: 40 U.S.C. 486(c).
Sec. 101-11.0 Cross-reference to the Federal Management Regulation
(FMR) (41 CFR chapter 102, parts 1 through 220).
For information on records, interagency reports, and standard and
optional forms, see FMR parts 102-193, 102-194, and 102-195 (41 CFR
parts 102-193, 102-194, and 102-195).
CHAPTER 102--[AMENDED]
2. Parts 102-193, 102-194, and 102-195 are added to subchapter G to
read as follows:
PART 102-193--CREATION, MAINTENANCE, AND USE OF RECORDS
Sec.
102-193.5 What does this part cover?
102-193.10 What are the goals of the Federal Records Management
Program?
102-193.15 What are the records management responsibilities of the
Administrator of General Services (the Administrator), the Archivist
of the United States (the Archivist), and the heads of Federal
agencies?
102-193.20 What are the specific agency responsibilities for
records management?
102-193.25 What type of records management business process
improvements should my agency strive to achieve?
Authority: 40 U.S.C. 486(c).
Sec. 102-193.5 What does this part cover?
This part prescribes policies and procedures related to the General
Service Administration's (GSA) role to provide guidance on economic and
effective records management for the creation, maintenance and use of
Federal agencies' records. The National Archives and Records
Administration Act of 1984 (the Act) (44 U.S.C. chapter 29) amended the
records management statutes to divide records management
responsibilities between GSA and the National Archives and Records
Administration (NARA). Under the Act, GSA is responsible for economy
and efficiency in records management and NARA is responsible for
adequate documentation and records disposition. GSA regulations are
codified in this part and NARA regulations are codified in 36 CFR
Chapter XII. The policies and procedures of this part apply to all
records, regardless of medium (e.g., paper or electronic), unless
otherwise noted.
Sec. 102-193.10 What are the goals of the Federal Records Management
Program?
The statutory goals of the Federal Records Management Program are:
(a) Accurate and complete documentation of the policies and
transactions of the Federal Government.
(b) Control of the quantity and quality of records produced by the
Federal Government.
(c) Establishment and maintenance of management controls that
prevent the creation of unnecessary records and promote effective and
economical agency operations.
(d) Simplification of the activities, systems, and processes of
records creation, maintenance, and use.
(e) Judicious preservation and disposal of records.
(f) Direction of continuing attention on records from initial
creation to final disposition, with particular emphasis on the
prevention of unnecessary Federal paperwork.
Sec. 102-193.15 What are the records management responsibilities of
the Administrator of General Services (the Administrator), the
Archivist of the United States (the Archivist), and the Heads of
Federal agencies?
(a) The Administrator of General Services (the Administrator)
provides guidance and assistance to Federal agencies to ensure
economical and effective records management. Records management
policies and guidance established by GSA are contained in this part and
in parts 102-194 and 102-195 of this chapter, records management
handbooks, and other publications issued by GSA.
(b) The Archivist of the United States (the Archivist) provides
guidance and assistance to Federal agencies to ensure adequate and
proper documentation of the policies and transactions of the Federal
Government and to ensure proper records disposition. Records management
policies and guidance established by the Archivist are contained in 36
CFR Chapter XII and in bulletins and handbooks issued by the National
Archives and Records Administration (NARA).
[[Page 48359]]
(c) The Heads of Federal agencies must comply with the policies and
guidance provided by the Administrator and the Archivist.
Sec. 102-193.20 What are the specific agency responsibilities for
records management?
You must follow both GSA regulations in this part and NARA
regulations in 36 CFR Chapter XII to carry out your records management
responsibilities. To meet the requirements of this part, you must take
the following actions to establish and maintain the agency's records
management program:
(a) Assign specific responsibility to develop and implement
agencywide records management programs to an office of the agency and
to a qualified records manager.
(b) Follow the guidance contained in GSA handbooks and bulletins
and comply with NARA regulations in 36 CFR Chapter XII when
establishing and implementing agency records management programs.
(c) Issue a directive establishing program objectives,
responsibilities, authorities, standards, guidelines, and instructions
for a records management program.
(d) Apply appropriate records management practices to all records,
irrespective of the medium (e.g., paper, electronic, or other).
(e) Control the creation, maintenance, and use of agency records
and the collection and dissemination of information to ensure that the
agency:
(1) Does not accumulate unnecessary records while ensuring
compliance with NARA regulations for adequate and proper documentation
and records disposition in 36 CFR parts 1220 and 1228.
(2) Does not create forms and reports that collect information
inefficiently or unnecessarily.
(3) Reviews all existing forms and reports (both those originated
by the agency and those responded to by the agency but originated by
another agency or branch of Government) periodically to determine if
they can be improved or canceled.
(4) Maintains records economically and in a way that allows them to
be retrieved quickly and reliably.
(5) Keeps mailing and copying costs to a minimum.
(f) Establish standard stationery formats and styles.
(g) Establish standards for correspondence to use in official
agency communications, and necessary copies required, and their
distribution and purpose.
Sec. 102-193.25 What type of records management business process
improvements should my agency strive to achieve?
Your agency should strive to:
(a) Improve the quality, tone, clarity, and responsiveness of
correspondence;
(b) Design forms that are easy to fill-in, read, transmit, process,
and retrieve, and reduce forms reproduction costs;
(c) Provide agency managers with the means to convey written
instructions to users and document agency policies and procedures
through effective directives management;
(d) Provide agency personnel with the information needed in the
right place, at the right time, and in a useful format;
(e) Eliminate unnecessary reports and design necessary reports for
ease of use;
(f) Provide rapid handling and accurate delivery of mail at minimum
cost; and
(g) Organize agency files in a logical order so that needed records
can be found rapidly to conduct agency business, to ensure that records
are complete, and to facilitate the identification and retention of
permanent records and the prompt disposal of temporary records.
Retention and disposal of records is governed by NARA regulations in 36
CFR Chapter XII.
PART 102-194--STANDARD AND OPTIONAL FORMS MANAGEMENT PROGRAM
Sec.
102-194.5 What is the Standard and Optional Forms Management
Program?
102-194.10 What is a Standard form?
102-194.15 What is an Optional form?
102-194.20 What is an electronic Standard or Optional form?
102-194.25 What is an automated Standard or Optional format?
102-194.30 What role does my agency play in the Standard and
Optional Forms Management Program?
102-194.35 Should I create electronic Standard or Optional forms?
102-194.40 For what Standard or Optional forms should an
electronic version not be made available?
102-194.45 Who should I contact about Standard and Optional forms?
Authority: 40 U.S.C. 486(c).
Sec. 102-194.5 What is the Standard and Optional Forms Management
Program?
The Standard and Optional Forms Management Program is a
Governmentwide program that promotes economies and efficiencies through
the development, maintenance and use of common forms. The General
Services Administration (GSA) provides additional guidance on the
Standard and Optional Forms Management Program through an external
handbook called Standard and Optional Forms Procedural Handbook. You
may obtain a copy of the handbook from:
Standard and Optional Forms Management Office General Services
Administration (Forms-XR)
1800 F Street, NW.; Room 7126
Washington, DC 20405-0002
(202) 501-0581
http://www.gsa.gov/forms
Sec. 102-194.10 What is a Standard form?
A Standard form is a fixed or sequential order of data elements,
prescribed by a Federal agency through regulation, approved by GSA for
mandatory use, and assigned a Standard form number. This criterion is
the same whether the form resides on paper or purely electronic.
Sec. 102-194.15 What is an Optional form?
An Optional form is approved by GSA for nonmandatory Governmentwide
use and is used by two or more agencies. This criteria is the same
whether the form resides on paper or purely electronic.
Sec. 102-194.20 What is an electronic Standard or Optional form?
An electronic Standard or Optional form is an officially prescribed
set of data residing in an electronic medium that is used to produce a
mirror-like image or as near to a mirror-like image as the creation
software will allow of the officially prescribed form.
Sec. 102-194.25 What is an automated Standard or Optional format?
An automated Standard or Optional format is an electronic version
of the officially prescribed form containing the same data elements and
used for the electronic transaction of information in lieu of using a
Standard or Optional form.
Sec. 102-194.30 What role does my agency play in the Standard and
Optional Forms Management Program?
Your agency head or designee's role is to:
(a) Designate an agency-level Standard and Optional Forms Liaison
representative and alternate, and notify GSA, in writing, of their
names, titles, mailing addresses, telephone numbers, fax numbers, and
e-mail addresses within 30 days of the designation or redesignation.
(b) Promulgate Governmentwide Standard forms under the agency's
statutory or regulatory authority in the Federal Register, and issue
procedures on the mandatory use, revision, or cancellation of these
forms.
(c) Ensure that the agency complies with the provisions of the
Government
[[Page 48360]]
Paperwork Elimination Act (GPEA) (Public Law 105-277, 112 Stat 2681),
Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 74d), as
amended, the Architectural and Transportation Barriers Compliance Board
(Access Board) Standards (36 CFR part 1194), and OMB implementing
guidance. In particular, agencies should allow the submission of
Standard and Optional forms in an electronic/automated version unless
the form is specifically exempted by Sec. 102-194.40.
(d) Issue Governmentwide Optional forms when needed by two or more
agencies and announce the availability, revision, or cancellation of
these forms. Forms prescribed through a regulation for use by the
Federal Government must be issued as a Standard form.
(e) Obtain GSA approval for each new, revised or canceled Standard
and Optional form, 60 days prior to planned implementation. Certify
that the forms comply with all applicable laws and regulations. Provide
an electronic form unless exempted by Sec. 102-194.40. Revised forms
not approved by GSA will result in cancellation of the form.
(f) Provide GSA with both an electronic (unless exempted by
Sec. 102-194.40) and paper version of the official image of the
Standard or Optional form prior to implementation.
(g) Obtain the prescribing agency's approval for exceptions to
Standard and Optional forms, including electronic forms or automated
formats prior to implementation.
(h) Review annually agency prescribed Standard and Optional forms,
including exceptions, for improvement, consolidation, cancellation, or
possible automation. The review must include approved electronic
versions of the forms.
(i) Coordinate all health-care related Standard and Optional forms
through GSA for the approval of the Interagency Committee on Medical
Records (ICMR).
(j) Promote the use of electronic forms within the agency by
following what the Government Paperwork Elimination Act (GPEA)
prescribes and all guidance issued by the Office of Management and
Budget and other responsible agencies. This guidance will promote the
use of electronic transactions and electronic signatures.
(k) Notify GSA of the replacement of any Standard or Optional form
by an automated format or electronic form, and its impact on the need
to stock the paper form. GSA's approval is not necessary for this
change, but a one-time notification should be made.
(l) Follow the specific instructions in the Standard and Optional
Forms Procedural Handbook.
Sec. 102-194.35 Should I create electronic Standard or Optional forms?
Yes, you should create electronic Standard or Optional forms,
especially when forms are used to collect information from the public.
GSA will not approve a new or revision to a Standard or Optional form
unless an electronic form is being made available. Only forms covered
by Sec. 102-194.40 are exempt from this requirement. Furthermore, you
should to the extent possible, use electronic form products and
services that are based on open standards. However, the use of
proprietary products is permitted, provided that the end user is not
required to purchase a specific product or subscription to use the
electronic Standard or Optional form.
Sec. 102-194.40 For what Standard or Optional forms should an
electronic version not be made available?
All forms should include an electronic version unless it is not
practicable to do so. Areas where it may not be practicable include
where the form has construction features for specialized use (e.g.,
labels), to prevent unauthorized use or could otherwise risk a security
violation, (e.g., classification cover sheets), or require unusual
production costs (e.g., specialized paper or envelopes). Such forms can
be made available as an electronic form only if the originating agency
approves an exception to do so. (See the Standard and Optional Forms
Procedural Handbook for procedures and a list of these forms).
Sec. 102-194.45 Who should I contact about Standard and Optional
forms?
For Standard and Optional forms, you should contact the:
Standard and Optional Forms Management Office General Services
Administration (Forms-XR)
1800 F Street, NW.; Room 7126
Washington, DC 20405-0002
(202) 501-0581
PART 102-195--INTERAGENCY REPORTS MANAGEMENT PROGRAM
Sec.
102-195.5 What is the Interagency Reports Management Program and
what is its purpose?
102-195.10 What is an interagency report?
102-195.15 What must an agency do to implement the Interagency
Reports Management Program?
102-195.20 Are any interagency reports exempt from this program?
Authority: 40 U.S.C. 486(c).
Sec. 102-195.5 What is the Interagency Reports Management Program and
what is its purpose?
The Interagency Reports Management Program managed by GSA ensures
that interagency reports and recordkeeping requirements are necessary,
cost-effective, and comply with applicable laws and regulations.
Sec. 102-195.10 What is an interagency report?
An interagency report is a repetitive reporting requirement imposed
by an agency on one or more other agencies.
Sec. 102-195.15 What must an agency do to implement the Interagency
Reports Management Program?
To implement the Interagency Reports Management Program an agency
must:
(a) Annually review all interagency reporting requirements imposed
on other agencies to assure that they remain necessary.
(b) Consistent with law and regulation, seek information that other
agencies have already obtained from the public rather than asking the
public to provide the information again.
(c) Every three years beginning November 1, 2001, provide the
following information to GSA for each interagency report that will
require the responding agencies as a whole to take more than 100 hours
complying with it:
(1) Title.
(2) Purpose.
(3) Estimate of the reporting costs for the life of the report or
for three years, whichever is sooner.
(4) An estimate of the time you will need to collect this
information; e.g., six months or six years.
(5) The name, telephone number, and e-mail address for the point of
contact for each interagency report.
(6) Whether the report can be provided electronically, and if not,
when such submissions will be allowed.
(d) Provide supporting documentation for cost estimates for review
by GSA and responding agencies, if requested.
(e) Notify GSA and responding agencies when an interagency report
is no longer needed.
(f) Provide responding agencies an opportunity to comment on any
new or proposed revision to an interagency reporting requirement.
(g) Send information asked for in paragraphs (c), (d) and (e) of
this section, along with any unresolved comments from responding
agencies concerning an interagency reporting requirement in accordance
with paragraph (f) of this section to:
General Services Administration
Strategic IT Issues Division (MKB)
[[Page 48361]]
1800 F Street, NW.
Washington, DC 20405
Sec. 102-195.20 Are any interagency reports exempt from this program?
Yes, the following interagency reports are exempt from the
Interagency Reports Management Program:
(a) Legislative branch reports;
(b) Office of Management and Budget (OMB) and other Executive
Office of the President reports;
(c) Judicial branch reports required by court order or decree; and
(d) Reporting requirements for security of classified information.
However, interagency reporting requirements for nonsensitive or
unclassified sensitive information are not exempt, even if the
information is later given a security classification by the requesting
agency.
Dated: September 10, 2001.
Stephen A. Perry,
Administrator of General Services.
[FR Doc. 01-23356 Filed 9-19-01; 8:45 am]
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